Filed May 18, 2026
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| Provider | Service type | Compensation |
|---|---|---|
Filed as: M. HOLDINGS SECURITIES, INC. Service code 15 · EIN 91-1802259 | Recordkeeping | $7,854 |
ADP BROKER-DEALER2 years Filed as: ADP, INC. Service code 15 · EIN 13-3036745 | Recordkeeping | $1,945 |
ADP BROKER-DEALER2 years Service code 59 · EIN 22-3319984 | Shareholder Servicing | $0 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $36,672 | $76,696-52.2% | $96,515-62.0% | $71,511-48.7% |
| Participation rate | 42.8% | 66.6%-23.8pp | 74.3%-31.6pp | 67.9%-25.2pp |
| Annual return | 16.20% | 48.32%-32.1pp | 35.73%-19.5pp | 28.86%-12.7pp |
| Employer contribution / active EE | $1,226 | $3,032-59.6% | $3,740-67.2% | $2,589-52.6% |
| Participant deferral / active EE | $2,938 | $3,770-22.1% | $4,880-39.8% | $4,291-31.5% |
| Admin fee / account holder | $94 | $2,030-95.4% | $6,735-98.6% | $1,588-94.1% |